Securities broker license check pacimi709199104

NASAA Fraud Center How to Check Out Your Broker or adviser through your state securities regulator To verify a license with either Broker Check or. Federal or state securities laws require brokers, investment advisers, and their firms to be licensed or registered, and to make important information public But it s up to you to find that information and use it to protect your investment dollars.

BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

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Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State are required to be licensed with the Securities Division The Securities Division reviews applications for the qualifications of their principals, and the disciplinary history of the firm or its principals.